SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
ROBERT OLIVIER J

(Last) (First) (Middle)
C/O UNITED TECHNOLOGIES CORP
ONE FINANCIAL PLZ

(Street)
HARTFORD CT 06101

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/28/2003
3. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/ [ UTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President, Chubb PLC
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock (Career Restricted) 2,340 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
ESOP Series A Convertible Preferred Stock 08/08/1988 08/08/1988 Common Stock 216.676(1) 0.0000 I By ESOP
Non-Qualified Stock Option (right to buy) 02/05/1999 02/03/2006 Common Stock 20,000 25 D
Non-Qualified Stock Option (right to buy) 02/03/2000 02/02/2007 Common Stock 20,000 34.5 D
Non-Qualified Stock Option (right to buy) 01/02/2001 01/01/2008 Common Stock 34,000 36.5625 D
Non-Qualified Stock Option (right to buy) 01/04/2002 01/03/2009 Common Stock 24,000 54 D
Non-Qualified Stock Option (right to buy) 01/03/2003 01/02/2010 Common Stock 13,300 62.5 D
Non-Qualified Stock Option (right to buy) 01/02/2004 01/01/2011 Common Stock 15,200 75.25 D
Non-Qualified Stock Option (right to buy) 01/02/2005 01/01/2012 Common Stock 21,700 64.34 D
Non-Qualified Stock Option (right to buy) 01/02/2006 01/01/2013 Common Stock 22,500 63.41 D
Explanation of Responses:
1. The shares were acquired during the year pursuant to the United Technologies Corporation Savings Plan, a 401(k) plan. The acquisition of such shares is exempt and shares are convertible or redeemable at the option of the employee, at the termination of employment with the Corporation. A share of ESOP stock is convertible into four shares of common stock and is enttitled to 5.2 votes.
Remarks:
By: /s/ Charles F. Hildebrand as Attorney-in-Fact 07/28/2003
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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